Chris H. Pauli
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Chris H. Pauli, who also goes by Chris H Pauli, Chris Henry Pauli, was a registered financial professional .
Chris is a previously registered financial professional and started their career in finance in 1981. Chris had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 28, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2014 - December 16, 2016
THE CROWN ADVISORS, LLC
March 1, 2005 - December 31, 2013
THE CROWN ADVISORS, LLC
July 28, 1999 - October 11, 2001
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 1, 1997 - July 27, 1999
JOHNSON RESEARCH & CAPITAL INCORPORATED
September 15, 1989 - January 1, 1997
PAULI & COMPANY, INC
July 28, 1987 - June 24, 1989
JOHNSON RESEARCH & CAPITAL INCORPORATED
September 5, 1981 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
August 18, 1981 - May 18, 1987
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 28
Date: 12/13/2003
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
THE CROWN ADVISORS, LLC
CRD#: 133226 / SEC#: 801-66319
Contact information
Red Flags
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